FINRA Dispute Resolution

FINRA (Financial Industry Regulatory Authority) is dedicated to protecting investors and ensuring the integrity of capital markets. As a self-regulatory organization (SRO) under SEC oversight since the 1930s, FINRA enforces rules, examines member firms for compliance, identifies market manipulation, reimburses harmed customers, and administers licensing exams. It empowers investors through education, resolves disputes via fair forums, and operates trade reporting facilities. Funded by member fees, FINRA’s independent model allows quick adaptation to market changes, fostering robust and informed regulation that benefits investors and the financial industry.